Department of Human Resources

Reviewing Personnel Files and Data Requests at UMD
Revised August 27, 2008

POLICY STATEMENT

It is the policy of the University of Minnesota Duluth to comply with the University of Minnesota policies on personnel files and the Minnesota Government Data Practices Act to ensure that data is appropriately gathered, stored, and appropriately available to those who request it. This policy and related procedures may be modified by a collective bargaining agreement or change in state law.

Website links to the State statute and relevant University policies may be found at the end of this document.

SCOPE OF THE COVERAGE

This policy and the associated guidelines apply to all units on or associated with the UMD campus. They are designed to provide guidance to all individuals who are involved with the creation, use, and/or maintenance of personnel data for all staff and faculty. They also provide information for University staff and members of the public seeking personnel data.

The policy applies to all official personnel files for campus employees, including vitae, resume, appointment and reappointment letters, PAF documents, compensation-related memos, commendation letters, disciplinary letters, information related to changes in appointment, non-medical leave requests and responses, performance appraisals (including annual goals, annual reviews, final reports of evaluation committees) and employee responses to those documents. Other employment-related documents may be added if the employee is notified of such addition and has a chance to review such document.

RESPONSIBILITY FOR ADMINISTERING THE POLICY

Faculty and Non-Faculty Academic Employees:

The Vice Chancellor for Academic Administration or designee is responsible for maintaining the official personnel records of all faculty (that is, the Employment Record File) and non-faculty academic employees. In addition, the Vice Chancellor is responsible for seeing that related sections in the UEA collective bargaining agreement are implemented in accordance with that Agreement and consistent with applicable laws.

Non-Represented and Bargaining Unit Employees:

The Vice Chancellor for Finance and Operations is responsible for the official personnel files of all civil service employees (represented and non-represented). The UMD Director of Human Resources is designated by the Vice Chancellor for Finance and Operations to be responsible for maintaining the personnel records of all non-academic employees, applicants for positions, etc.

INTERNAL RECORDS REVIEW AND ACCESS - ALL ACADEMIC AND NON-ACADEMIC EMPLOYEES

Current employees may review their own official personnel files, once every six months, by submitting a written request to the appropriate office as identified above. Requests by employees to review the personnel file shall be complied with as soon as possible or within seven working days from the date of the request. After review and upon written request, the employee may receive a copy of the file.

Upon written request, former employees may review the record once each year, for as long as the personnel record is maintained. Or, the former employee may receive a one-time copy of the file, in lieu of the right to yearly review.

If an employee disputes specific information in the file, the employee must notify the appropriate administrator regarding the disputed information. An agreement to revise or remove the material may occur or, if no agreement can be reached, the employee may submit a position statement, not to exceed five written pages, which must also be maintained in the personnel file.

Internal requests for personnel data by University staff other than the employee should be made to the appropriate office as identified above and are only available to those individuals within the University of Minnesota whose work assignments reasonably require access. If a requester's work assignment does not reasonably require access, the requester will be advised to submit a written request, under the Minnesota Government Data Practices Act, to the UMD Department of Human Resources, where the request will be reviewed, public data gathered, and an appropriate response provided.

EXTERNAL RECORDS REVIEW AND ACCESS - ALL ACADEMIC AND NON-ACADEMIC EMPLOYEES

When personnel data is being requested by anyone outside the University, the request must be made in writing and forwarded to the UMD Department of Human Resources, where it will be reviewed, data gathered, and the appropriate response provided. No information will be released in response to oral requests. If requested, copies shall be provided for a fee, which may include the costs of searching for and retrieving the data and for making, certifying, and compiling the copies. Copies will be provided within a reasonable time period and paid for by the requester prior to receipt of the materials.

The UMD Department of Human Resources will make a reasonable attempt to notify the affected employee(s) when a request is made by anyone outside the University for personnel data.

When public personnel data on the UMD workforce is being requested by anyone outside the University for the purpose of developing a mailing list, they will be referred to the UMD Bookstore where they may purchase the latest directory. Anyone wishing to purchase a data file/mailing labels should be referred to Information Technology Systems and Services (ITSS). ITSS will charge a minimum fee of $100.00 for processing such requests with payment to be made in advance of the processing.

PUBLIC DATA ON CURRENT AND FORMER EMPLOYEES

(Minn. Stat.§ 13.43, subd. 2)
The following data on current and former employees, volunteers, independent contractors, and members of advisory boards or committees is public. It must be given to anyone who asks for it.

* name
* actual gross salary
* salary range
* contract fees
* actual gross pension
* the value and nature of employer paid fringe benefits
* the basis for and the amount of any added remuneration, including expense reimbursement, in addition to salary
* job title
* job description
* education and training background
* previous work experience
* date of first and last employment
* the existence and status of any complaints or charges against the employee, whether or not the complaint or charge resulted in a disciplinary action
* the final disposition of any disciplinary action together with the specific reasons for the action and data documenting the basis of
* the action, excluding data that would identify confidential sources who are employees of the public body
* the terms of any agreement settling any dispute arising out of the employment relationship
* work location
* a work telephone number
* badge number
* honors and awards received
* payroll time sheets or other comparable data that are used only to account for employee's work time for payroll purposes, except to the extent that release of time sheet data would reveal the employee's reasons for the use of sick or other medical leave or other not public data
* city and county of residence

RECORDS RETENTION

Records will be kept as long as required by law or University policy.

University of Minnesota Records Retention Schedule
http://www.ogc1.umn.edu/stellent/groups/public/documents/webasset/da_031145.pdf

RELEVANT WEBSITE LINKS

Minnesota Statute

Minnesota Government Data Practices Act (MS 13.01) https://www.revisor.leg.state.mn.us/statutes/?id=13

University of Minnesota Policies

Public Access to University Information http://www.fpd.finop.umn.edu/groups/ppd/documents/Policy/Public_Access.cfm

Obtaining Public Information
http://www.fpd.finop.umn.edu/groups/ppd/documents/procedure/Public_Access_Proc.cfm

Internal Access to University Information
http://www.fpd.finop.umn.edu/groups/ppd/documents/policy/access.cfm?view=all#500

Examples of Public, Private, and Confidential Information
http://www.fpd.finop.umn.edu/groups/ppd/documents/appendix/confidential.cfm